DFX Intelligence

C••••••••• A•••••• O•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

C••••••••• A•••••• O•••

Advisor at C••••• I••••••••• A••••••• L••

HONOLULU, HI

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Search this name across graphsid dfx:ria:5430ca69-60cc-719b-b845-20d1612f8c61

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 20, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 20, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 7, 2025	n/a	yes	HONOLULU, HI	Current employment
B••••• A•••••••	Former SEC adviser	Mar 20, 2014	Aug 11, 2025	no	HONOLULU, HI\|HONOLULU, HI\|HONOLULU, HI\|HONOLULU, HI\|Honolulu, HI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••• A•••••••	C••••• I••••••••• A••••••• L••	Aug 11, 2025	Aug 7, 2025	-4	Firm change	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
29280:105644:HI:2025-08-08	Aug 11, 2025	Aug 7, 2025	HONOLULU, HI	Firm change

Relationships

Registered with (2)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 7, 2025 to presentfactForm ADV
→ B••••• A•••••••Registered adviserregistration: previous registration
Mar 20, 2014 to Aug 11, 2025factForm ADV

Dated events

Occurred
Aug 11, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5430ca69-60cc-719b-b845-20d1612f8c61
First observed: Mar 20, 2014
Last observed: Sep 14, 2026 9 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.